Compliance Group Lead

2 days ago


Noida, Uttar Pradesh, India Ameriprise Financial Full time

Key Responsibilities:

As a Compliance Group Lead, you will be responsible for monitoring Investment guideline compliance to approve Orders/Trades pre-trade and review compliance alerts at a post-trade level. Key responsibilities include:

  • Investigation and resolution of pre-trade and post-trade investment guideline exceptions
  • Collaboration with portfolio management and other partners to ensure portfolio compliance
  • Manual test execution to ensure system integrity
  • Identification and resolution of investment guideline coding issues
  • Investigation and troubleshooting of potential errors
  • Contribution to efficiency and improvement initiatives through process suggestions and ideas

Required Qualifications:

To be successful in this role, you will need:

  • A graduate degree from a tier 1 university with a minimum of 8 years of experience
  • In-depth understanding of regulatory frameworks, including the Investment Company Act of 1940, Investment Advisor's Act, U.K., and European regulations
  • Strong knowledge of financial markets, investment vehicles, and asset classes

About Our Company:

Ameriprise India LLP is a leading financial planning company that has been providing client-based financial solutions for over 125 years. We are headquartered in Minneapolis and have a global presence, with a focus on Asset Management and Advice, Retirement Planning, and Insurance Protection. We offer a collaborative and inclusive culture that values diversity and promotes career growth.


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